# O'Brien Investment Management, LLC

> O'Brien Investment Management, LLC is an SEC-registered investment advisory firm in Torrance, CA, registered since 2020, reporting $100 million to $500 million in regulatory assets under management in its Form ADV filing dated August 27, 2026.

- CRD: 284057
- Filed as: O'BRIEN INVESTMENT MANAGEMENT, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Torrance, CA
- Filing period: October 2026
- Form ADV filing dated: August 27, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/284057
- AdvisorCensus page: https://advisorcensus.com/firm/o-brien-investment-management-llc-torrance-ca-284057

## Quick answers

**How is O'Brien Investment Management, LLC compensated?**
On its Form ADV (Item 5.E, October 2026), O'Brien Investment Management, LLC reports these compensation arrangements: a percentage of assets under its management.

**What does O'Brien Investment Management, LLC's brochure say about its fees?**
Its Form ADV Part 2A brochure dated August 27, 2026 states: Up to $1,000,000: 1% a year; $1,000,000 to $3,000,000: 0.9% a year; $3,000,000 to $5,000,000: 0.75% a year; $5,000,000 to $10,000,000: 0.6% a year; Above $10,000,000: 0.5% a year. Fees can differ by service and may be negotiable; the brochure is the complete statement.

**Where is O'Brien Investment Management, LLC located?**
O'Brien Investment Management, LLC's principal office is in Torrance, CA, according to its Form ADV.

**Is O'Brien Investment Management, LLC registered with the SEC or a state?**
O'Brien Investment Management, LLC is an SEC-registered investment advisory firm, registered since 2020. Status as filed: Approved. CRD 284057.

**How much does O'Brien Investment Management, LLC manage?**
O'Brien Investment Management, LLC reports $254,332,886 in regulatory assets under management in its Form ADV filing dated August 27, 2026 (100% discretionary).

**How have O'Brien Investment Management, LLC's assets and staff changed since 2021?**
In the Form ADV data for O'Brien Investment Management, LLC: Regulatory assets under management: $153,892,685 in the October 2021 data and $254,332,886 in the October 2026 data, up 65%. Total employees: 4 in October 2021 and 3 in October 2026. Assets under management move with markets as well as with clients coming and going.

**What types of clients does O'Brien Investment Management, LLC serve?**
By number of clients on Form ADV Item 5.D: high net worth individuals (96); individuals (other than high net worth individuals) (69); pension and profit sharing plans (but not the plan participants or government pension plans) (2).

**Which custodians does O'Brien Investment Management, LLC use?**
O'Brien Investment Management, LLC's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Charles Schwab & Co., Inc. and National Financial Services LLC as custodians holding 10% or more of its separately managed account assets.

**Does O'Brien Investment Management, LLC report any disciplinary disclosures?**
Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/284057

## From the Form ADV filing

### Compensation (Item 5.E)
- A percentage of assets under your management

### Fees and minimums (Form ADV Part 2A brochure dated August 27, 2026)

- Up to $1,000,000: 1% a year
- $1,000,000 to $3,000,000: 0.9% a year
- $3,000,000 to $5,000,000: 0.75% a year
- $5,000,000 to $10,000,000: 0.6% a year
- Above $10,000,000: 0.5% a year

> O’Brien charges advisory fees for investment management services. All fees are negotiable. O’Brien’s advisory fees are charged based on a percentage of the client’s total assets under management.

> 1.00% of the first $1,000,000

> 0.90% of the next $2,000,000 (up to $3,000,000)

> 0.75% of the next $2,000,000 (up to $5,000,000)

> 0.60% of the next $5,000,000 (up to $10,000,000)

> 0.50% on assets above $10,000,000

As stated in the firm's brochure. Fees can differ by service and may be negotiable.

### Custodians (Schedule D, Section 5.K(3))
- Charles Schwab & Co., Inc.
- National Financial Services LLC

Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.

### Regulatory assets under management (Item 5.F)
- Total: $254,332,886
- Discretionary: $254,332,886
- Non-discretionary: $0

### Clients (Item 5.D)

| Client type | Clients | Assets |
| --- | --- | --- |
| Individuals (other than high net worth individuals) | 69 | $11,020,120 |
| High net worth individuals | 96 | $238,400,866 |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 2 | $4,911,900 |

### Advisory services (Item 5.G)
- Portfolio management for individuals and/or small businesses

### Firm details
- Registered since: 2020 (6 years)
- Employees: 3 total, 2 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: AZ, CA, WA
- Disclosures (Item 11): Reports no disclosure items on Form ADV Item 11.

### Websites listed on Form ADV (Item 1.I)
- obrienim.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $153,892,685 | 4 | June 24, 2021 |
| October 2022 | $171,506,406 | 4 | September 29, 2022 |
| October 2023 | $154,105,631 | 3 | March 30, 2023 |
| October 2024 | $192,679,790 | 3 | March 15, 2024 |
| October 2025 | $231,291,668 | 3 | March 31, 2025 |
| October 2026 | $254,332,886 | 3 | August 27, 2026 |

Regulatory assets under management: $153,892,685 in the October 2021 data and $254,332,886 in the October 2026 data, up 65%.
Total employees: 4 in October 2021 and 3 in October 2026.

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. O'Brien Investment Management, LLC (CRD 284057): Form ADV filing data as of October 2026.